Jarrod James

Vice President & Senior Compliance Consultant

Jarrod James serves as a Vice President and Senior Compliance Consultant for RIA Compliance Consultants, Inc.

His duties at RIA Compliance Consultants include the registration of new investment advisor firms, developing written supervisory policies and procedures and codes of ethics, reviewing advertising and sales literature, presenting compliance training for investment advisors, annual amendments, and assisting investment advisor firms with regulatory exams including the preparation of letters of response to alleged deficiencies. Moreover, a significant portion of Jarrod’s consulting practice involves working closely with a limited number of annual retainer clients of RIA Compliance Consultants by creating and implementing ongoing compliance programs for such clients. Finally, his focus on strategic planning, recruiting investment advisory firms as clients, and providing professional compliance consulting services to those clients have been instrumental in the development and growth of RIA Compliance Consultants.

Jarrod is an experienced investment advisor compliance professional. His background includes working as a Compliance Examiner for one of the largest independent broker-dealers in the country. In this role, his focus was on the regulatory responsibilities of the firm’s corporate investment advisory unit, which maintained nearly $10 billion in assets under administration and management. Jarrod’s responsibilities also included the preparation of Form ADVs, compliance manuals, advertising reviews, compliance training seminars, and conducting audits of independent investment advisor firms operated by registered representatives of the independent broker-dealer.

Jarrod graduated, cum laude, from Northwest Missouri State University where he earned a Bachelor of Science in Government with minors in Economics and Criminal Justice while also an Academic All-Conference student-athlete. He earned a Master of Arts in Management from the Bellevue University – College of Business. Jarrod is a designated Investment Adviser Certified Compliance Professional® (IACCP®) and has passed the Series 7, Series 24, and Series 66 examinations.

For More Information

For More Information

To learn more about our services and products or to set up a time to speak with one of our Compliance Consultants call:

Annual Investment Advisor Compliance Program

RIA Compliance Consultants|877-345-4034|

* Nature of a Consulting Relationship – Not a Law Firm

Although RIA Compliance Consultants, Inc. (“RCC”) is an affiliate of a law firm and RCC may have an individual on its staff that is also licensed as an attorney providing legal services in a completely separate capacity, RCC is not a law firm or an attorney and does not provide legal services or legal advice.

In general, a licensed attorney is regulated by his or her state supreme court through the use of rules of professional conduct, minimum education and examination requirements and a disciplinary process. Unlike a client of an attorney, a client of RCC will not receive the advantages of such regulatory oversight since the compliance consultant occupation is not licensed by state government.

A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship such as the following: (a) privileged communication between an attorney and client; (b) the requirement for an attorney to use a client trust account for safekeeping of fees paid in advance; or (c) prohibitions preventing an attorney from having impermissible relationships with clients, representing other persons with conflicting interests, receiving referral fees from third-party vendors, or prospectively limiting liability for malpractice through a contractual provision in a client agreement.

In the event that a securities regulator has initiated an enforcement proceeding claiming an individual or entity has violated the applicable law, such individual or entity will need to retain legal counsel to represent the individual or entity before the securities regulator. Although RCC may serve as an expert regarding industry practices, RCC is not a substitute for engaging appropriate legal counsel to represent such individual or entity.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.